DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•••••• A••• S••••

S••••••••• L••state registeredMaitland, FlIA-onlyIAPD 2196854

Feed of 09/14/2026

At current firm

2 y

since Jul 1, 2024

In the industry

39 y

since Jun 1, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••••••• L•• state registered current
since Jul 1, 2024 · Maitland, Fl
C•••••• A••••••• BD affiliated
Jun 24, 2019 to Jun 27, 2024 · Apopka, Fl
L•••••• I••••••••• independent RIA
Sep 11, 2006 to Jun 27, 2024 · Maitland, Fl
L•• F•••••••• A•••••••• I••• unclassified
Mar 6, 1996 to Dec 31, 2004 · Jenkintown, Pa

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to S••••••••• L••
left Jun 27, 2024, registered Jul 1, 2024 (4 days) · Affiliated broker-dealer or bank to a state-registered adviser
L•••••• I••••••••• to C•••••• A•••••••
left Jun 27, 2024, registered Jun 24, 2019 (-1830 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• A•••••••• I••• to L•••••• I•••••••••
left Dec 31, 2004, registered Sep 11, 2006 (619 days) · Other

Signals

K•••••• A••• S•••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2019-06-24)
Jun 27, 2024 · Advisor changed firm · fact
K•••••• A••• S•••• left C•••••• A••••••• for S••••••••• L•• (registered 2024-07-01)
Jun 27, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address